Trainee Compliance Associate

Role Overview & Responsibilities

Job description

FinTech Compliance is a consultancy providing compliance advice to a wide variety of FCA regulated financial services firms, with a particular focus on technology-based, innovative and alternative finance businesses. Our core services include FCA authorisations, ongoing advice and support, the authoring of policies/procedures, compliance reviews and audits, and other related project work on an ad-hoc basis. Our client base includes payment services and e-money, consumer credit including peer-to-peer lending, insurance, and investment firms.

We help our clients solve difficult and interesting regulatory related problems, so we look for people who relish an intellectual challenge with a high attention to detail, while also having the ability to conduct a thorough analysis of a problem and translate that into practical advice.

We are looking for a candidate to join our small but growing team as an Associate Compliance Consultant.

The role

• The role would involve playing an active part in our consulting team, liaising directly with clients for a variety of compliance related services, including:
• conducting regulatory reviews/audits
• delivering training sessions and workshops for compliance staff and senior management
• assisting with authorisations to the FCA
• drafting policies and procedures
• responding to ad-hoc and routine regulatory queries
• keeping up with developments in laws and regulation and informing clients of these changes
• Conducting research, writing articles, and making internal or client presentations on compliance specific issues

The candidate should:

• Have the ability to work on several projects at once, and deal with a changing workload
• Have a degree or equivalent qualification, preferably in a relevant subject such as finance or law
• Have good inter-personal skills, and be comfortable meeting with, and talking to senior level management
• Have exceptional communication skills and a high attention-to-detail
• Have excellent problem-solving abilities and a willingness to study and develop
• Be able to present and explain complex issues with confidence and enthusiasm, both in formal presentations and when de-briefing compliance reviews
• Be self-motivated and able to work independently

What we offer you

• The chance to work in a dynamic environment with experienced industry leaders
• Support with gaining industry related qualifications, including a Level 6 Diploma in Investment Compliance from The Chartered Institute for Securities and Investment (CISI)
• A salary of £20,000 per annum, which would increase to £27,500 following completion of the CISI diploma
• Performance-related bonus’
• Company funded income protection insurance, life insurance, and private health insurance, and group pension.

This is an exciting opportunity to work in a small team, with internal training and support provided to develop your skill set.

Please apply by sending your current CV along with a cover letter. Please note, we will not even review CVs unless a cover letter is included.

Job Types: Full-time, Permanent

Salary: £20,000.00-£27,000.00 per year

Interviews will commence the week of the 27th Feb 2023

All interviews will be carried out via google meets.

Job Types: Full-time, Permanent

Salary: £20,000.00-£27,000.00 per year

Benefits:

• Casual dress
• Free or subsidised travel
• Life insurance
• Private medical insurance
• Sick pay
• Wellness programme

Schedule:

• Monday to Friday

Supplemental pay types:

• Performance bonus

Education:

• Bachelor's (required)

Language:

• English (required)

Work Location: One location